Chapter 42 - Securities Generally
- Subchapter 1 - General Provisions
- § 23-42-101 - Title.
- § 23-42-102 - Definitions.
- § 23-42-103 - Applicability.
- § 23-42-104 - Criminal penalties.
- § 23-42-105 - Prosecution of criminal offenses.
- § 23-42-106 - Civil liability.
- § 23-42-107 - Consent to service of process.
- § 23-42-108 - Rights and remedies cumulative.
- § 23-42-109 - Waiver of compliance void.
- § 23-42-110 - False or misleading statements unlawful.
- Subchapter 2 - Administration
- § 23-42-201 - Administration by Securities Commissioner -- Conflicts of interest.
- § 23-42-202 - Delegation of authority by Securities Commissioner.
- § 23-42-203 - Confidentiality of information or proceedings generally.
- § 23-42-204 - Rules, forms, and orders of Securities Commissioner.
- § 23-42-205 - Investigations.
- § 23-42-206 - Records of Securities Commissioner generally -- Interpretive opinions.
- § 23-42-207 - Public inspection of records -- Exceptions.
- § 23-42-208 - Cooperation with other regulatory agencies.
- § 23-42-209 - Injunction, mandamus, or other ancillary relief.
- § 23-42-210 - Judicial review.
- § 23-42-211 - Disposition of fees.
- § 23-42-212 - Registration or availability of exemption not construed as approval by Securities Commissioner -- Inconsistent representation.
- § 23-42-213 - Disposition of fines -- Investor Education Fund.
- Subchapter 3 - Broker-Dealers, Agents, and Investment Advisers
- § 23-42-301 - Registration required.
- § 23-42-302 - Registration procedure.
- § 23-42-303 - Minimum net capital requirement.
- § 23-42-304 - Filing fees -- Rules and regulations.
- § 23-42-305 - Corporate surety bonds -- Alternatives.
- § 23-42-306 - Records and reports -- Examinations.
- § 23-42-307 - Unlawful acts by investment advisers.
- § 23-42-308 - Denial, suspension, revocation, or withdrawal of registration, and other penalties.
- Subchapter 4 - Registration of Securities
- Subchapter 5 - Regulation of Transactions
- § 23-42-501 - Sale of unregistered nonexempt securities.
- § 23-42-502 - Filing of prospectus, sales literature, etc.
- § 23-42-503 - Exempted securities.
- § 23-42-504 - Exempted transactions.
- § 23-42-505 - Denial or revocation of exemption.
- § 23-42-506 - Burden of proof of exemption.
- § 23-42-507 - Fraud or deceit in connection with offer, sale, or purchase of securities.
- § 23-42-508 - Market manipulation.
- § 23-42-509 - Covered securities.